Mohna Shah Email & Phone Number

Seattle, Wa, Us

Washington D.C. Metro Area

Supervised a team of 6 to handle operations and trading with a focus on reducing risks across the business.Facilitated culture of compliance in 4 months through enhanced enforcement and training, and provided subject matter expertise on regulatory compliance.Improved control framework, policies and procedures, and annual compliance testing plan based on applicable federal regulations and best practices.Assessed accuracy of outsourced Compliance Program Rule reports, ADV updates, and 13F filings.Spearheaded initiative to make advisory services available through an additional custodian, which included collaborating with developers to enhance existing processes and implementing an additional OMS.Managed processes around trade and operational errors, including root problem analysis, remediation, procedural changes, and detailed reports for senior leadership.Engaged in strategic planning for both wealth management and asset management, specifically external vendors, SaaS, and client services, resulting in improved capital allocation and increased business development.Mentored other women to communicate from a position of power, negotiate financial contracts, and navigate their career paths.

Washington D.C. Metro Area

Managed compliance with Global Investment Performance Standards (GIPS) ($100B in AUM), including implementation of financial systems and coordination with independent consulting firm for annual GIPS verification.Spearheaded implementation of enterprise-wide composite software system to track and analyze performance and dispersion for all portfolio strategies, resulting in more accurate data and faster reporting for sales and marketing presentations.

Led integration of Rydex Investments into Security Global’s compliance with GIPS ($10B in AUM).Supervised staff to ensure timely completion of reconciliations, reporting, and billing payments, resulting in improved client and stakeholder satisfaction.Identified areas for process improvement and implemented solutions that optimized workflows, resulting in substantial time savings for the team.

Substantially improved risk management and compliance efficiency by assessing risk appetite, surfacing risks, and then designing and executing the testing plan in 6 months based on Compliance Program Rule 206(4)-7.Updated ADVs, policy and procedures, and prospectuses/SAIs in accordance with SEC rules and regulations (1940 Advisors Act, 1940 Investment Company Act).Prepared quarterly Board presentations and initiated transition from paper to digital Board books, including training Trustees on navigating the new format.Managed administration of personal trading compliance policy.

Conducted financial statement audits and internal controls testing for investment companies and non-profit organizations (including A-133 audits).Managed teams and trained newer associates to complete audits on schedule and within budget.

Bachelor'S Degree, Economics

Master'S Degree, Accounting